Volume 08

Issue 03

Published, August 20, 2004

ISSN 1535-864X

Intel
Technology
Journal

WiMAX

Scalable OFDMA Physical Layer

in IEEE 802.16 WirelessMAN

A compiled version of all papers from this issue of the Intel Technology Journal can be found at:

http://developer.intel.com/technology/itj/index.htm

Intel Technology Journal, Volume 8, Issue 3, 2004

Scalable OFDMA Physical Layer in IEEE 802.16

WirelessMAN
Hassan Yaghoobi, Intel Communications Group, Intel Corporation
Index words: OFDMA, Scalable, IEEE 802.16, WirelessMAN, subchannel, subcarrier
ABSTRACT
The concept of scalability was introduced to the IEEE
802.16 WirelessMAN Orthogonal Frequency Division
Multiplexing Access (OFDMA) mode by the 802.16 Task
Group e (TGe). A scalable physical layer enables
standard-based solutions to deliver optimum performance
in channel bandwidths ranging from 1.25 MHz to 20
MHz with fixed subcarrier spacing for both fixed and
portable/mobile usage models, while keeping the product
cost low. The architecture is based on a scalable
subchannelization structure with variable Fast Fourier
Transform (FFT) sizes according to the channel
bandwidth. In addition to variable FFT sizes, the
specification supports other features such as Advanced
Modulation and Coding (AMC) subchannels, Hybrid
Automatic Repeat Request (H-ARQ), high-efficiency
uplink subchannel structures, Multiple-Input-MultipleOutput (MIMO) diversity, and coverage enhancing safety
channels, as well as other OFDMA default features such
as different subcarrier allocations and diversity schemes.
The purpose of this paper is to provide a brief tutorial on
the IEEE 802.16 WirelessMAN OFDMA with an
emphasis on scalable OFDMA.

GHz NLOS applications. OFDM technology has been

recommended in other wireless standards such as Digital
Video Broadcasting (DVB) [2] and Wireless Local Area
Networking (WLAN) [3]-[4], and it has been successfully
implemented in the compliant solutions.
Amendments for PHY and Medium Access Control
(MAC) layers for mobile operation are being developed
(working drafts [5] are being debated at the time of
publication of this paper) by TGe of the 802.16 Working
Group. The task groups responsibility is to develop
enhancement specifications to the standard to support
Subscriber Stations (SS) moving at vehicular speeds and
thereby specify a system for combined fixed and mobile
broadband wireless access. Functions to support optional
PHY
layer
structures,
mobile-specific
MAC
enhancements, higher-layer handoff between Base
Stations (BS) or sectors, and security features are among
those specified. Operation in mobile mode is limited to
licensed bands suitable for mobility between 2 and 6
GHz.

The IEEE 802.16 WirelessMAN standard [1] provides

specifications for an air interface for fixed, portable, and
mobile broadband wireless access systems. The standard
includes requirements for high data rate Line of Sight
(LOS) operation in the 10-66 GHz range for fixed
wireless networks as well as requirements for Non Line
of Sight (NLOS) fixed, portable, and mobile systems
operating in sub 11 GHz licensed and licensed-exempt
bands.

Unlike many other OFDM-based systems such as WLAN,

the 802.16 standard supports variable bandwidth sizes
between 1.25 and 20 MHz for NLOS operations. This
feature, along with the requirement for support of
combined fixed and mobile usage models, makes the need
for a scalable design of OFDM signaling inevitable. More
specifically, neither one of the two OFDM-based modes
of the 802.16 standard, WirelessMAN OFDM and
OFDMA (without scalability option), can deliver the kind
of performance required for operation in vehicular
mobility multipath fading environments for all
bandwidths in the specified range, without scalability
enhancements that guarantee fixed subcarrier spacing for
OFDM signals.

Because of its superior performance in multipath fading

wireless channels, Orthogonal Frequency Division
Multiplexing (OFDM) signaling is recommended in
OFDM and WirelessMAN OFDMA Physical (PHY) layer
modes of the 802.16 standard for operation in sub 11

The concept of scalable OFDMA is introduced to the

IEEE 802.16 WirelessMAN OFDMA mode by the 802.16
TGe and has been the subject of many contributions to
the standards committee [6]-[9]. Other features such as
AMC subchannels, Hybrid Automatic Repeat Request

INTRODUCTION

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(H-ARQ), high-efficiency Uplink (UL) subchannel

structures, Multiple-Input-Multiple-Output (MIMO)
diversity, enhanced Advanced Antenna Systems (AAS),
and coverage enhancing safety channels were introduced
[10]-[14] simultaneously to enhance coverage and
capacity of mobile systems while providing the tools to
trade off mobility with capacity.
The rest of the paper is organized as follows. In the next
section we cover multicarrier system requirements,
drivers of scalability, and design tradeoffs. We follow
that with a discussion in the following six sections of the
OFDMA frame structure, subcarrier allocation modes,
Downlink (DL) and UL MAP messaging, diversity
options, ranging in OFDMA, and channel coding options.
Note that although the IEEE P802.16-REVd was ratified
shortly before the submission of this paper, the IEEE
P802.16e was still in draft stage at the time of
submission, and the contents of this paper therefore are
based on proposed contributions to the working group.

MULTICARRIER DESIGN
REQUIREMENTS AND TRADEOFFS
A typical early step in the design of an Orthogonal
Frequency Division Multiplexing (OFDM)-based system
is a study of subcarrier design and the size of the Fast
Fourier Transform (FFT) where optimal operational point
balancing protection against multipath, Doppler shift, and
design cost/complexity is determined. For this, we use
Wide-Sense
Stationary
Uncorrelated
Scattering
(WSSUS), a widely used method to model time varying
fading wireless channels both in time and frequency
domains using stochastic processes. Two main elements
of the WSSUS model are briefly discussed here: Doppler
spread and coherence time of channel; and multipath
delay spread and coherence bandwidth.
A maximum speed of 125 km/hr is used here in the
analysis for support of mobility. With the exception of
high-speed trains, this provides a good coverage of
vehicular speed in the US, Europe, and Asia. The
maximum Doppler shift [15] corresponding to the
operation at 3.5 GHz (selected as a middle point in the 26 GHz frequency range) is given by Equation (1).
f =
m

35m / s
=
= 408Hz
0.086m

Equation (1)

The coherence time of the channel, a measure of time

variation in the channel, corresponding to the Doppler
shift specified above, is calculated in Equation (2) [15].
T =
C

9
16 f

= 1.03ms

Equation (2)

This means an update rate of ~1 KHz is required for

channel estimation and equalization.
The maximum delay spread for fixed broadband wireless
is specified by the Stanford University Interim (SUI)
channel model [17]. The worst-case rms delay spread
corresponding to SUI-6 (Terrain Type A: hilly terrain
with moderate-to-heavy tree densities) channel is 5.24 s.
The International Telecommunications Union (ITU-R)
Vehicular Channel Model B [18] shows delay spread
values of up to 20 s for mobile environments. The
subcarrier spacing design requires a flat fading
characteristic for worst-case delay spread values of 20 s
with a guard time overhead of no more than 10% for a
target delay spread of 10 s. The coherence bandwidth of
the channel (50% frequency correlation) corresponding to
the 20 s delay spread, given by Equation (3) [15], is
shown to be approximately 10 KHz.
B
C

1
1
=
= 10 KHz
5
5 20 s

Equation (3)

This means that for delay spread values of up to 20 s,

multipath fading can be considered as flat fading over a
10 KHz subcarrier width.
An OFDM system is also sensitive to phase noise and the
negative impact of impairment increases for narrower
subcarrier spacing, which makes the design more
expensive and complex.
The above rationale, based on the coherence time,
Doppler shift, and coherence bandwidth of the channel, is
the basis for the consideration of a scalable structure
where the FFT sizes scale with bandwidth to keep the
subcarrier spacing fixed.
Simulation results generated in [6] for a 2.5 MHz channel
bandwidth when the FFT size is kept at 2048 shows a
considerable amount of degradation in performance plot
(Bit Error Rate vs. Signal to Noise Ratio) which is clearly
recognizable for 64-QAM and high mobility.

The worst-case Doppler shift value for 125 km/hr (35

m/s) would be ~700 Hz for operation at the 6 GHz upper
limit specified by the standard. Using a 10 KHz
subcarrier spacing, the Inter Channel Interference (ICI)
power corresponding to the Doppler shift calculated in
Equation (1) can be shown [16] to be limited to ~-27 dB.

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Table 1: OFDMA scalability parameters

Parameters

Table 2: Scalable OFDMA frame sizes

Values
1.25

2.5

10

20

1.429

2.85
7

5.714

11.429

22.857

Sample time (1/Fs,nsec)

700

350

175

88

44

FFT size (NFFT)

128

256

512

1024

2048

System bandwidth (MHz)

Sampling frequency
(Fs,MHz)

Subcarrier frequency
spacing

11.16071429 kHz

Frame Sizes
(msec)

Frame Sizes
(OFDM symbols)

2
2.5
4
5
8
10
12.5
20

19
24
39
49
79
99
124
198

In the remainder of this paper, the following items are

emphasized as the drivers of scalability and are revisited
frequently.
a.

Subcarrier spacing is independent of bandwidth.

89.6 s

b.

The number of used subcarriers (and FFT size)

should scale with bandwidth.

Guard time (Tg=Tb/8)

11.2 s

c.

OFDMA symbol time

(Ts=Tb+Tg)

100.8 s

The smallest unit of bandwidth allocation, specified

based on the concept of subchannels (to be defined
later), is fixed and independent of bandwidth and
other modes of operation.

d.

The number of subchannels scales with FFT size

rather than with the capacity of subchannels.

e.

Tools are provided to trade mobility for capacity.

Useful symbol time

(Tb=1/ f)

Without scalability, performance is reduced or cost is

increased for low- and mid-size channel bandwidths.
Table 1 summarizes the main scalability parameters as
recommended for adoption in the standard.
Note that in Table 1, the over-sampling factor used is 8/7
(Fs = floor(8/7 BW/0.008)x0.008) as globally specified in
the standard for all OFDMA operations. The guard time
can attain any of the four possible values 1/4, 1/8, 1/16
and 1/32. By setting the value to 1/8 of an OFDM
symbol, a maximum of 11.2 s delay spread can be
tolerated with an overhead of around 10%.
WirelessMAN OFDMA supports a wide range of frame
sizes (see Table 2) to flexibly address the need for
various applications and usage model requirements. With
a 2048 FFT size, the number of OFDM symbols in the
short frame size, (e.g., 2 ms), will be very small for
narrow bandwidths (less than 2 OFDM symbols for 1.25
MHz band) which makes the short frame sizes practically
unusable (due to high overhead). Another advantage of
scalability is to guarantee a lower bound on the number of
OFDM symbols per frame (particularly a problem for
small bandwidth and frame sizes).

Note that fixing the capacity of the subchannel may not

be the best choice especially for low-bandwidth systems
where typical applications are different in nature.

BASICS OF OFDMA FRAME

STRUCTURE
There are three types of OFDMA subcarriers:
1.

Data subcarriers for data transmission.

2.

Pilot subcarriers for various

synchronization purposes.

3.

Null subcarriers for no transmission at all, used for

guard bands and DC carriers.

estimation

and

Active subcarriers are divided into subsets of subcarriers

called subchannels. The subcarriers forming one
subchannel may be, but need not be, adjacent. Bandwidth
and MAP allocations are done in subchannels.
The pilot allocation is performed differently in different
subcarrier allocation modes. For DL Fully Used
Subchannelization (FUSC), the pilot tones are allocated
first and then the remaining subcarriers are divided into
data
subchannels.
For
DL
Partially
Used
Subchannelization (PUSC) and all UL modes, the set of
used subcarriers, that is, data and pilots, is first

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partitioned into subchannels, and then the pilot

subcarriers are allocated from within each subchannel. In
FUSC, there is one set of common pilot subcarriers, but
in PUSC, each subchannel contains its own set of pilot
subcarriers.

another BS rather than a serving BS. Simultaneous ULs

can be data allocations and ranging or bandwidth
requests.

OFDMA Symbol Number

k+7

k+9

k+11

k+13

k+15

UL-MAP

FCH
UL-MAP

Preamble
DL-MAP

Sub-channel Logical Number

S+2

DL Burst SS1

k+18

DL Burst SS2

DL Burst
SS1
(from BS2)
DL Burst
Multicast

Variable Set #1
Variable Set #2
Fixed Set #1
Fixed Set #2

k+23 k+24

UL Burst SS1

DL Burst
SS3

UL Burst SS2
DL Burst
Broadcast

k+21

UL Burst SS3

DL Burst
SS4

Pilot Sets

k+5

Preamble
DL-MAP

k+3

UL-MAP

k k+1
S
S+1

UL Burst SS4
RNG/BW-REQ

S+L

DL Sub-frame

200

400

600

800
1000
1200
Sub-carrier Physical Index

1400

1600

1800

UL Sub-frame
TTG

RTG

Figure 2: Pilot distribution for FUSC

Figure 1: OFDMA frame structure (TDD, PUSC)
In a DL, subchannels may be intended for different
(groups of) receivers while in UL, Subscriber Stations
(SS) may be assigned one or more subchannels and
several transmitters may transmit simultaneously.
The subcarriers forming one subchannel may, but need
not be, adjacent. Figure 1 shows the OFDM frame
structure for Time Division Duplexing (TDD) mode.
Each frame is divided into DL and UL subframes
separated by Transmit/Receive and Receive/Transmit
Transition (TTG and RTG, respectively) gaps. Each DL
subframe starts with a preamble followed by the Frame
Control Header (FCH), the DL-MAP, and a UL-MAP,
respectively.
The FCH contains the DL Frame Prefix (DLFP) to
specify the burst profile and the length of the DL-MAP
immediately following the FCH. The DLFP is a data
structure transmitted at the beginning of each frame and
contains information regarding the current frame; it is
mapped to the FCH.
According to the OFDMA specifications, a DL-MAP
message, if transmitted in the current frame, shall be the
first MAC PDU in the burst following the FCH. An ULMAP message shall immediately follow either the DLMAP message (if one is transmitted) or the DLFP. If
Uplink Channel Descriptor (UCD) and Downlink
Channel Descriptor (DCD) messages are transmitted in
the frame, they shall immediately follow the DL-MAP
and UL-MAP messages.
Simultaneous DL allocations can be broadcast, multicast,
and unicast and they can also include an allocation for

SUBCARRIER ALLOCATION MODES

There are two main types of subcarrier permutations:
distributed and adjacent. In general, distributed subcarrier
permutations perform very well in mobile applications
while adjacent subcarrier permutations can be properly
used for fixed, portable, or low mobility environments.
These options enable the system designers to trade
mobility for throughput.
In the following section, various subcarrier allocation
modes are identified and their main characteristics are
summarized.

DL Distributed Subcarrier Permutations: Fully

Used Subchannelization (FUSC)
This method uses all the subchannels and employs fullchannel diversity by distributing the allocated subcarriers
to subchannels using a permutation mechanism. This
mechanism is designed to minimize the probability of hits
(probably of using the same physical subcarriers in
adjacent cells and sectors) between adjacent sectors/cells
by reusing subcarriers while frequency diversity
minimizes the performance degradation due to fast fading
characteristics of mobile environments.
Table 3 summarizes the subcarrier allocation structure
parameters. In DL FUSC, there are variable and fixed sets
of pilots. The fixed sets are used in all OFDM symbols
while the variable sets are divided into subsets that are
used in odd and even symbols alternatively. This provides
an appropriate tradeoff between allocated power and
frequency diversity on pilots for channel estimation.
Figure 2 shows the distribution of variable and fixed sets

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of pilots in the case of 2048 FFT. Pilot sets for other FFT
sizes are subsets of those for the 2048 FFT.
Table 3: DL distributed subcarrier permutation
(FUSC)
Parameters

Values

illustrated in Figure 4, that spans over three OFDM

symbols (in time) of four subcarriers, each with total of
four pilot subcarriers.
Note that because of the DL and UL, cluster and tile
structures are composed of two and three OFDM
symbols, respectively; the DL and UL subframe size and
the granularity of the DL and UL allocations are also two
or three OFDM symbols, respectively.

System bandwidth (MHz)

1.25

2.5

10

20

FFT size (NFFT)

128

N/A**

512

1024

2048

Number of guard
subcarriers

22

N/A

86

173

345

Number of used subcarriers

106

N/A

426

851

1703

Parameters

Number of data subcarriers

96

N/A

384

768

1536

System bandwidth (MHz)

1.25

2.5

10

20

Number of pilot subcarriers

(uses both variable and
constant sets)

9*

N/A

42

83

166

FFT size (NFFT)

128

N/A

512

1024

2048

Number of guard
subcarriers

43

N/A

91

183

367

Number of subchannels

Number of
clusters/subchannels

6/3

N/A

30/15

60/30

120/60

Number of used
subcarriers

85

N/A

421

841

1681

Number of data
subcarriers

72

N/A

360

720

1440

Number of pilot
subcarriers

12

N/A

60

120

240

Subcarrier Permutation

N/A

16

32

Uses Permutation Type 1 for Tone

Distribution (Eq. 107 [20])

* variable set only

** FFT size of 256 is not supported
Odd Symbols

Table 4: DL distributed subcarrier permutation

(PUSC)
Values

Even Symbols

Pilot sub-carriers

Subcarrier permutation

Uses Permutation Type 1 for Tone

Distribution (Eq. 107 [20])

Cluster renumbering

Activated

Pilot sub-carriers

Figure 3: DL PUSC cluster structure

DL and UL Distributed Subcarrier Permutation:

Partially Used Subchannelization (PUSC)
According to the OFDMA specification, all OFDMA DL
and UL subframes shall start in DL and UL PUSC mode,
respectively. In DL PUSC, subchannels are divided and
assigned to three segments that can be allocated to
sectors of the same cell. The method employs fullchannel diversity by distributing the allocated subcarriers
to subchannels. A permutation mechanism is designed to
minimize the probability of hits between adjacent
sectors/cells by reusing subcarriers, while frequency
diversity minimizes the performance degradation due to
fast fading characteristics of mobile environments.
Table 4 summarizes the parameters of DL PUSC
subcarrier allocation. DL PUSC uses a cluster structure,
as illustrated in Figure 3, which spans over two OFDM
symbols (in time) of fourteen subcarriers, each with a
total of four pilot subcarriers per cluster.
Table 5 summarizes the parameters of UL PUSC
subcarrier allocation. UL PUSC uses a tile structure, as

Optional DL Distributed Subcarrier

Permutation: Fully Used Subchannelization
(OFUSC)
This method employs full-channel diversity by
distributing the allocated subcarriers to subchannels using
a permutation mechanism designed to minimize the
probability of hits between adjacent sectors/cells by
reusing subcarriers, while frequency diversity minimizes
the performance degradation due to fast fading
characteristics of mobile environments.
Table 6 summarizes the parameters of OFUSC subcarrier
allocation. In OFUSC, pilots are mapped as specified
below, which is different from the assignment in the
FUSC mode.
Compared to FUSC mode, the number of used subcarriers
in this method is considerably larger (1681 vs. 1729). As
a result, compliance with spectral mask requirements,
without a change in the over-sampling factor, may be a
challenge for this mode.

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Table 5: UL distributed subcarrier permutation

(PUSC)

Table 6: DL distributed subcarrier permutation

(optional FUSC)

Parameters

Parameters

Values

Values

System bandwidth

1.25

2.5

10

20

System bandwidth

1.25

2.5

10

20

FFT size (NFFT)

128

N/A

512

1024

2048

FFT size (NFFT)

128

N/A

512

1024

2048

Number of guard
subcarriers

31

N/A

103

183

367

Number of guard
subcarriers

19

N/A

79

159

319

Number of tiles

24

N/A

102

210

552

109

N/A

433

865

1729

Number of subchannels

N/A

17

35

92

Number of used
subcarriers

Number of subcarriers per

tile

N/A

384

768

1536

N/A

Number of data
subcarriers

96

Number of used
subcarriers

N/A

48

96

192

N/A

409

841

1681

Number of pilot
subcarriers (Npilots)

12

97

Number of data
subcarriers per subchannel

48

N/A

48

48

48

Number of subchannels

N/A

16

32

Tile permutation

Uses Permutation Type 2 for Tile

Distribution (Eq. 109 [20])

Subcarrier permutation

Uses Permutation Type 3 for Subcarrier

Distribution (Eq. 110 [20])

Subcarrier permutation

Optional UL Distributed Subcarrier

Permutation: Partially Used Subchannelization
(OPUSC)
This method employs full-channel diversity by
distributing the allocated subcarriers to subchannels using
a permutation mechanism designed to minimize the
probability of hits between adjacent sectors/cells by
reusing subcarriers, while frequency diversity minimizes
the performance degradation due to fast fading
characteristics of mobile environments.

Symbol 0
Pilot sub-carriers
Symbol 1
Pilot sub-carriers

Pilot subcarrier index

Uses Permutation Type 3 for Tone

Distribution (Eq. 108 [20])
9k+3m+1,
for k=0,1,, Npilots and
m=[symbol index] mod 3

Optional DL and UL Adjacent Subcarrier

Permutation: Advanced Modulation and Coding
(AMC)
This method uses adjacent subcarriers to form
subchannels. When used with fast feedback channels it
can rapidly assign a modulation and coding combination
per subchannel. The AMC subchannels enable the use of
water-pouring types of algorithms, and it can be used
effectively with an AAS option.

Symbol 2

Figure 4: UL PUSC tile structure

Table 8 summarizes the AMC subcarrier allocation

parameters. In AMC, pilots are mapped as specified
below.

Table 7 summarizes the parameters of UL OPUSC

subcarrier allocation. UL OPUSC uses a tile structure, as
illustrated in Figure 5, that spans over three OFDM
symbols (in time) of three subcarriers each with one pilot
subcarrier per tile.

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Table 7: Optional UL distributed subcarrier

permutation (OPUSC)
Parameters

Values

Table 8: UL/DL adjacent subcarrier permutation

(optional AMC)
Parameters

Values

System bandwidth

1.25

2.5

10

20

System bandwidth

1.25

2.5

10

20

FFT size (NFFT)

128

N/A

512

1024

2048

FFT size (NFFT)

128

N/A

512

1024

2048

Number of guard
subcarriers

19

N/A

79

159

319

Number of guard subcarriers

19

N/A

79

159

319

Number of used
subcarriers

109

N/A

433

865

1729

Number of used subcarriers (Nused)

109

N/A

433

865

1729

Number of tiles

36

N/A

144

288

576

Number of pilots (Npilots)

12

N/A

48

96

192

Number of tiles per

subchannel

N/A

6
Number of data subcarriers

96

N/A

384

768

1536

Number of data
subcarriers per subchannel

48

Number of bands

N/A

12

24

48

Number of bins per band

N/A

Number of subchannels

Number of subcarriers per

bin (8 data +1 pilot)

N/A

Number of subchannels

N/A

16

32

Subcarrier permutation

N/A

N/A

48

24

48

48

48

96

Uses Permutation Type 4 for Tone

Distribution (Eq. 111 [20])

Sub-carrier permutation
Pilot subcarrier index

None
9k+3m+1,
for k=0,1,, Npilots and
m=[symbol index] mod 3

Figure 5: UL OPUSC tile structure

Figure 6: Multiple zones in Uplink and Downlink subframes

Zone Switching
OFDMA PHY also supports multiple subcarrier
allocation zones within the same frame to enable the
possibility of support for and coexistence of different
types of SSs.
Figure 6 illustrates zone switching within the DL and UL
subframes. The switching is performed using an
information element included in DL-MAP and UL-MAP.

DL and UL subframes both start in PUSC mode where

groups of subchannels are assigned to different segments
by the use of dedicated FCH messages. The PUSC
subcarrier allocation zone can be switched to a different
type of subcarrier allocation zone through a directive
from the PUSC DL-MAP. Figure 6 shows the zone
switching from the perspective of a PUSC segment. In the
figure, the PUSC FCH/DL-MAP for a segment with
IDCell X is followed with another possibly data PUSC

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zone for IDCell X. A PUSC zone for another sector/cell

with IDCell Y (Y in general is different from X) is
allocated next. An FUSC zone for IDCell Z is shown next
in the figure. Note that IDCell Z may be the same as
IDCell X which means that a PUSC to FUSC switching is
scheduled within the segment for Frequency Reuse One
operations. A switching to IDCell 0 can be planned for all
network broadcast operations.

users. The figure illustrates a four-antenna configuration

where the AAS preamble and AAS DL MAPs structure
are repeated multiples of four times to support the
corresponding four groups of users.

Optional PUSC, FUSC, and AMC zones in DL subframes

and optional PUSC and AMC zones in UL subframes can
be similarly scheduled. Allocation of AMC zones enables
the simultaneous support of fixed, portable, and nomadic
mobility users along with high mobility users (supported
in PUSC/FUSC zones).

DIVERSITY OPTIONS
OFDMA PHY supports AAS and also a set of second-,
third-, and fourth-order transmit diversity options.
With the AAS option, the system uses a multiple-antenna
transmission to improve the coverage and capacity of the
system while minimizing the probability of outage
through transmit diversity, beam forming, and null
steering.
Transmit diversity options consist of a comprehensive set
of methods based on second- or fourth-order diversity in
DL and second-order diversity in UL that can be flexibly
chosen to tradeoff capacity and coverage. The set
includes both closed- and open-loop options and also
supports Spatial Multiplexing (SM) for maximum
spectral efficiency.

Advanced Antenna Systems

Two optional AAS modes are supported in OFDMA
PHY: Diversity-Map Scan and Direct Signaling Method.
Diversity-Map Scan supports both diversity (FUSC and
PUSC) and adjacent (AMC) subcarrier permutation
options. The Direct Signaling Method supports adjacent
subcarrier permutation with less overhead in control
signaling.
We now discuss the Diversity-Map Scan option when
applied to the AMC subcarrier allocation method.
Figure 7 shows the AAS Diversity Map Zone within a
frame. The DL subframe includes a non-AAS section and
an AAS section specified by information elements
provided in the DL MAP.
Within the AAS zone, subchannel numbers 4 and N-4 (N
is the index for the last logical subchannel) are allocated
to the AAS DL MAP where a pointer to a beamformed
broadcast DL MAP is specified. The broadcaset DL MAP
provides beamformed private DL and UL MAPs for AAS

Figure 7: AAS diversity MAP zone

Within the AAS zone, the AAS BS specifies allocations
to be used for SS Ranging. In TDD mode, the BS can
extract the channel information required for beam
forming from the Ranging Request messages received
from the SSs. In FDD mode, beam forming is done
through the AAS Feedback Request and Response
messages where channel response information along with
mean Received Signal Strength Indicator (RSSI) and
Carrier to Interference plus Noise Ratio (CINR) are
reported back to the BS by the SS.

Transmit Diversity
OFDMA mode supports second-, third- and fourth-order
transmit diversity options in DL and second-order
transmit diversity in UL. All diversity options are
applicable to both diversity and adjacent subcarrier
permutations.
Space Time Coding (STC) based on Alamouti algorithm
[19] and Frequency Hopping Diversity Code (FHDC) are
two options for second-order diversity in DL. Although
not specified by the standard, the number of receive
antennas can be specified depending on the performance
required.
Second-Order STC
Second-order STC in DL supports coding rates of 1 and 2
using the following two transmission format matrices.

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S
A=
S

S
*

i+1

Equation (4)

i +1

S
B=
S

Equation (5)

i+1

Here S s are OFDM symbols in the frequency domain

right before IFFT operation.
k

The optional STC transmit diversity is also supported in

UL using the transmission format matrix A of Equation
(4). Matrix B of Equation (5) can be used by two SSs in
a collaborative special multiplexing mode.

C = S
S

S
A=
0

S
B=
S

*
i +1

i +1

S
0

0
S

i +1

*
i +1

*
i

i+ 2

i +3

1
2

*
i +3

*
i+ 2

0
S

S
*

i +2

S
S
C=
S
S

Equation (6)

i+ 3

i+ 3

i +2

S
S

S
*

i+ 4

i +5

i+ 6
*

i+ 7

i +6

i +7

Equation (7)

~
S
~
S
~
S
~
S
~
S
~
S
~
S
~
S

=S +S

=S +S

Third-Order STC
The third-order transmit diversity in DL supports rates 1,
2, or 3 using the following transmission format matrices
A, B, and C, respectively.

S~
~
B = S
S~

~
S
~
S
~
S

0
~
S
~
S

0
~
S
~
S

~
S
~
S
~
S

~
S
~
S
~
S

1I

3Q

2I

4Q

=S +S
=S +S
4I

2Q

=S +S

7Q

=S +S

8Q

=S +S
= S +S
7I

5Q

8I

6Q

3I

1Q

5I

6I

Equation (12)

= (tan 2) / 2 ,

,
S = X e
for
k = 1,2,L ,8 and X ' s are OFDM symbols in the frequency
domain right before the IFFT operation.
where

S = S + jS
k

kI

kQ

Precoding
A general KxL precoding matrix W is specified to be
applied to the output X of any second-, third- or fourthorder diversity option mentioned earlier. This way an L th
order output vector Z of the STC block is transformed
into a final K th order vector for transmission on
antennas.
Z =W X

Equation (8)

~
S
~
S
0

Equation (11)

i+ 5

Here, S s are OFDM symbols in the frequency domain

right before the IFFT operation.

i+ 4

S~
~
A = S
0

In Equations (9) and (10), we have

Fourth-Order STC
The fourth-order transmit diversity in DL supports rates
1, 2, or 4 using the following transmission format
matrices A, B, and C, respectively.

Equation (9)

Equation (10)

Equation (13)

Precoding can be performed either in closed-loop or

open-loop form. In the case of open-loop, the BS weights
the transmission according to the channel measurement
performed on the UL signal, where a reciprocity
assumption can be made for a TDD mode, for example.
In the case of closed-loop, BS uses the Channel Quality
Indications feedback from the SS.

RANGING IN OFDMA
The OFDMA PHY specifies a ranging allocation that can
be used for ranging as well as bandwidth request. Initial
and periodic ranging processes are supported to
synchronize the SSs with the BS at the initial network
entry and also periodically during the normal operation.
Bandwidth request mechanism is supported so that SSs
can request UL allocations for transmission of data to the
BS. A set of 256 special pseudo-noise 144 bit-long
ranging codes are divided into three groups for Initial
Ranging, Periodic Ranging, and Bandwidth Requests,
such that the BS can determine the purpose of the
received code by the subset to which the code belongs.
One or more groups of six adjacent subchannels are
allocated to ranging where the ranging codes are BPSK
modulated to the allocation. The SS randomly selects one

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code from the allocated set of codes and transmits back to

the BS through ranging allocation. Different SSs can
collide on their ranging and/or bandwidth requests and
the BS is still able to receive simultaneous requests.

further increases the capability of the system to support

larger numbers of synchronization mismatches.

To process an Initial Ranging request, a ranging code is

repeated twice and transmitted in two consecutive OFDM
symbols with no phase discontinuity between the two
OFDM symbols (see Figure 8). This way, the BS can
properly receive the requests from un-ranged SSs with a
larger value of synchronization mismatch when the first
attempt is made to enter the network. The SS can
optionally use two consecutive ranging codes transmitted
during a four-OFDM symbol period (see Figure 9). This
option decreases the probability of failure and increases
the ranging capacity to support larger numbers of
simultaneous ranging SSs while at the same time it

Figure 8: Initial ranging transmission

Figure 9: Initial ranging using two ranging codes

brief summary of the supported mandatory and optional

modes are given here.

Figure 10: Periodic ranging and bandwidth

request transmission

For Periodic Ranging or Bandwidth Requests, the

options are either to use one or three consecutive
ranging codes transmitted during a one or three OFDM
symbol period (see Figure 10 and Figure 11). In the case
of three ranging codes, the probability of failure
decreases at the same time as the ranging capacity
increases, to support larger numbers of simultaneous
ranging SSs.

CHANNEL CODING
A detailed discussion of channel coding options in
OFDMA PHY is beyond the scope of this paper; only a

Based on terminology used in WirelessMAN OFDMA

PHY, channel coding consists of Randomization,
Forward Error Correction (FEC), bit interleaving, and
modulation. Repetition code is used on various control
messages to further enhance the error correction
performance of the system. Repetition codes of 2, 4, or
6 are implemented by utilizing multiple subchannels.
Randomization is performed on both UL and DL data.
The data are randomized using a PN sequence generator
with a polynomial of degree 15 that is reinitialized at the
beginning of each FEC block with a seed, which is a
function of the OFDM symbol offset (from the start of
the frame) and the starting subchannel number
corresponding to the FEC block.
The OFDMA PHY supports mandatory tail-biting
Convolutional Coding and three optional coding
schemes:
Zero
Tailing
Convolutional
code,
Convolutional Turbo code along with H-ARQ, and
Block Turbo code.

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The tail biting is implemented by initializing the

encoders memory with the last data bits of the FEC
block being encoded, and the zero tailing is
implemented by appending a zero tail byte to the end of
each burst.
H-ARQ mitigates the effect of impairments due to
channel and external interference by effectively
employing time diversity along with incremental
transmission of parity codes (subpackets in this case). In
the receiver, previously erroneously decoded subpackets
and retransmitted subpackets are combined to correctly
decode the message. The transmitter decides whether to
send additional subpackets, based on ACK/NAK
messages received from the receiver.

based on the number of coded bits per encoded block

size. The interleaving is performed using a two-step
permutation process. The first permutation ensures that
adjacent coded bits are mapped onto nonadjacent
subcarriers. The second permutation ensures that
adjacent coded bits are mapped alternately onto less or
more significant bits of the constellation, thus avoiding
long runs of lowly reliable bits.

CONCLUSION
The IEEE 802.16 WirelessMAN OFDMA supports a
comprehensive set of system parameters and advanced
optional features for mobile, portable, and fixed usage
models. Scalability enables the technology to operate
optimally in different usage scenarios.

Bit interleaving is performed on encoded data at the

output of FEC. The size of the interleaving block is

Figure 11: Periodic ranging and bandwidth request transmission using three codes

ACKNOWLEDGMENTS
The author thanks Dr. C.K. Bright for the support
provided during the writing of this paper and the
valuable help on the graphics. I also thank T.J. Cox, D.
Andelman, R.C. Schwartz, Y. Lomnitz, G. Begis and S.
Talwar for their valuable reviews and comments.

REFERENCES
[1]. IEEE P802.16-2004, standard for local and
metropolitan area networks Part 16: Air Interface
for Fixed Broadband Wireless Access Systems
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[2]. ETS 300 744 rev 1.2.1, (1999-01), digital
broadcasting systems for television, sound and data
services (DVB-T); framing structure, channel
coding and modulation for digital terrestrial.
[3]. IEEE Std 802.11a-1999, Part 11, Wireless LAN
Medium Access Control (MAC) and Physical
Layer (PHY) specifications; high-speed physical
layer in the 5 GHz band.
[4]. IEEE 802.11g-2003, IEEE Standard for
Information technology, telecommunications and
information exchange between systems, local and
metropolitan area networks, specific requirements,

Part 11: Wireless LAN Medium Access Control

(MAC) and Physical Layer (PHY) specifications,
Amendment 4: further higher-speed physical layer
extension in the 2.4 GHz band.
[5]. IEEE P802.16e, draft amendment to IEEE
standard for local and metropolitan area networks,
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broadband wireless access systems, amendment for
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combined fixed and mobile operation in licensed
bands.
[6]. IEEE C802.16d-04_47, applying scalability for the
OFDMA PHY layer.
[7]. IEEE C802.16REVd-04/50r1, OFDMA PHY
enhancements for better mobility performance.
[8]. IEEE C802.16d-04/72, additional optional symbol
structure.
[9]. IEEE C802_16e-04/88-r3, 128 FFT sizes for
OFDMA PHY.
[10].
C802.16REVd-04_50r3,
OFDMA
PHY
enhancements for better mobility performance.
[11].
IEEE C802.16d-04/90, AAS enhancements
for OFDMA PHY.

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[12].
IEEE 802.16d-04/65, Enhancing MIMO
features for OFDMA PHY layer.
[13].
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[14].
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Systems Name.

solutions. He is a member of the IEEE 802.16 and

802.20 working groups. He also serves as secretary of
the sub 11 GHz Technical Working Group for the
WiMAX forum, an industry group focused on
interoperability of systems that conform to the IEEE
802.16 standard. Prior to Intel, he worked on design and
modeling of wireless terrestrial and satellite receivers
for Stanford Telecom and on RF network design of
mobile wireless systems for LCC international. His email is hassan.yaghoobi at intel.com.
Copyright Intel Corporation 2004. This publication
was downloaded from http://developer.intel.com/.
Legal notices at
http://www.intel.com/sites/corporate/tradmarx.htm.

AUTHORS BIOGRAPHY
Hassan Yaghoobi received a B.S. degree from Sharif
University of Technology, Tehran, Iran, in 1989 and
M.S. and Ph.D. degrees from the University of
Maryland, in 1993 and 2000, respectively, all in
Electrical Engineering. His academic research interests
include nonlinear control theory, communications
theory, and digital signal processing.
Hassans industrial experience includes communications
systems
engineering,
silicon
design/functional
definition, and standards development in the area of
broadband communications. Since 2000, he has been
working at Intel Corporation. As an engineer for Intels
Broadband Product Group, he worked on silicon
functional definition, algorithm design, system design
verification, and validation of various cable modem
products. He represented Intel at the DOCSIS2.0 Radio
Frequency Interface Specification (RFI) and Acceptance
Test Plan (ATP) standard committees at Cablelabs.
Hassan is currently working as a Strategic Technologist
for Intels Broadband Wireless Division working on
product definitions of Intels 802.16d/e silicon

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